Cindy Rosen

Consulting in an industry where I’ve spent my entire professional career is rewarding.

Cindy has 37 years of industry experience related to leading project and relationship management teams; AML/KYC/EDD processes including transactional reviews and writing high-risk client summaries; re-engineering business processes; providing broker dealer merger support; and managing all aspects of opening broker-dealer and independent advisor offices. Cindy began her career with Wheat, First Securities as a marketing manager in 1986. Prior to joining Oyster, Cindy provided leadership to the financial advisor recruiting and transition efforts for Wells Fargo Advisors and its multiple distribution channels.

Expertise

• Project Management (cross-functional teams; firm-wide projects)
• Enhanced Due Diligence risk screenings, reviewing transactional behaviors and patterns for International Financial Crimes Management for a major national brokerage firm
• Executing and processing regulatory client mailings
• Internal and external Communications Review (email/social media)
• Outside Business Activity Review
• Monthly Statement Review for an RIA
• Managing all aspects of opening offices in major markets, including real estate selection, technology, furniture and design, workforce training and resource planning
• Developing marketing campaign and public seminar materials (print)
• Developing recruiting strategies and enhancing lead flow
• Re-engineering processes related to brokerage forms production, revision, delivery, regulatory records retention and storage solutions
• Developing subject matter experts in key functional areas and streamlining communication processes as part of managing projects and managing resources

Career Highlights

• Senior Consultant, Oyster Consulting
• Vice President, Regional Business Consultant, Sales and Recruiting, Wells Fargo Advisors, LLC, St, Louis, MO
• Vice President, Senior Project Manager, Wachovia Securities, LLC, Richmond, VA
• Vice President, Manager, Enterprise Corporate Services, Wachovia Securities, Richmond, VA
• Vice President, Merger Relationship Manager, Wachovia Securities, LLC, Richmond, VA
• Vice President, Manager, National Corporate Expansion, Wachovia Securities, LLC, Richmond, VA
• Associate Vice President, Marketing Manager, Wheat, First Securities, Richmond, VA